Month: May 2020
Morgan Stanley Smith Barney Agrees to $5,000,000 Settlement Fund to Benefit Harmed Investors
In a release dated May 12, 2020, the Securities Exchange Commission announced that Morgan Stanley Smith Barney agreed to settle charges that it provided misleading information to clients in its Retail Wrap Fee Programs regarding trade execution services and transaction costs. A recent Order of the SEC has created what is known as the Fair […]
Read PostHave a Question?
Quick Contact
"*" indicates required fields
Recent
Blog Posts
- A Successful Will Contest
- SEC Issues Required Investor Disclosures for Variable Annuities and Variable Life Insurance Contracts
- Airbnb Guest Injuries
- Morgan Stanley Smith Barney Agrees to $5,000,000 Settlement Fund to Benefit Harmed Investors
- Will Contests – Have You Been Shorted by Trickery Involving a Loved One’s Estate?